Stacey Song Quoted in Hedge Fund Law Report on OCIE’s National Exam Program Risk Alert

Stacey Song Quoted in Hedge Fund Law Report on OCIE’s National Exam Program Risk Alert

Corporate partner Stacey Song was quoted in Hedge Fund Law Report in a two-part series regarding the SEC Office of Compliance Inspections and Examinations' (OCIE) National Exam Program Risk Alert. The first installment analyzes how the Books and Records Rule and the Compliance Rule impact the ways in which advisers and their employees may use electronic messaging for business purposes, the sweep initiative that led to the Risk Alert, and OCIE's recommended best practices. The second installment explains four key steps that investment advisers should take with respect to those best practices.
 
Click here to read part one and here to read part two (subscriptions required).

news-detail.inc